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Showing 401 to 410 of 417 search results for introduction of the senior managers regime.
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Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer. -
Regulating the pensions and retirement income sector: an FCA perspective
Speech by Deb Jones, Director of Supervision, Life Insurance and Financial Advice, delivered at the FCA/TPR: Our Joint Regulatory Strategy - one year on event.